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FINRA disciplinary action update 2026/5
Disciplinary decisions issued February 7 – 20, 2026.
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Insurance executive and marketing CEO sentenced in $233m ACA fraud scheme
Texts exchanged by the defendants revealed a scheme that targeted low-income individuals experiencing homelessness, unemployment, and other challenges.
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Swedish FSA launches investigation into Swedbank
The probe concerns Swedbank’s compliance with anti-money-laundering rules.
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ASIC roundup: Director charged, license cancellations, plus more
The Australian Securities and Investments Commission’s latest actions and news, February 10-20, 2026.
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OCC issues notice of proposed changes to bank appeals process
The regulator expects its revisions to “significantly raise the number of appeals” from the institutions it oversees.
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Shorter corporate disclosure through rule changes is aim of SEC’s Atkins
The SEC chair outlined corporate disclosure reforms he has asked SEC staff to explore, such as on executive comp and executive personal security.
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UK introduces its first regulatory regime for ESG ratings providers
We look at the scope of the new regulated activities and the FCA proposals for regulating the sector due to come into force June 29, 2028.
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New law says firms must take down abusive images within 48 hours
The UK law will be introduced and implemented through an amendment in the Crime and Policing Bill, in an effort to protect women and girls in particular.